Chris Plummer
Senior Compliance Officer
I am a Senior Compliance Officer with tru Independence, and I am serving as Chief Compliance Officer for several of the east coast advisory firms. I bring 25 years of regulatory compliance experience within the financial services industry. Beginning my career with the market surveillance department at the Philadelphia Stock Exchange, I have had the opportunity to implement and oversee both broker-dealer and investment advisory compliance programs spanning both the retail and institutional marketplace. Early in my career, I covered a variety of trading desks, leading to the completion of several FINRA licenses, including the Series 4, 7, 24, 53, 55, and 87. After a brief stint in Dallas, Texas, working for a private equity advisory firm, my family and I moved back to the Philadelphia area, where I was part of the Pershing/BNY Mellon compliance group for 7 years prior to joining the tru Independence team in the Philadelphia office.
My wife Taryn and I currently reside in my hometown of Springfield, Delaware County in Pennsylvania, with 7 of our 9 children. Our oldest, now 24, is a graduate of West Virginia University and still resides in West Virginia, working for a unit within the Department of Justice. Our second son opted for a different route and enlisted in the U.S. Army in 2021. He’s currently a Specialist and Infantryman with the Army’s 1st Infantry Division based in Fort Riley, Kansas, after having been deployed overseas for the past 14 months.
I attended West Chester University in Pennsylvania, graduating with a B.S. in Economics and a B.S. in Finance, and thereafter, attended Johns Hopkins University, where I earned my Master’s in Applied Economics. I also served 8 years in the U.S. Marine Corps Reserve from 1996 to 2004.
